Disciplinary outcome: Geraint Hodges
Order by consent
In the matter of
Geraint Hodges MAAT
Membership number
20033804
Date
12 October 2023
Misconduct
Geraint Hodges' conduct was found to be in breach of the Code of Professional Ethics and to have posed a risk to the public and/or undermine public confidence in the Association and its members as follows:
- For an unknown period up until on or around 16 March 2023, he provided Company Secretarial Services whilst not licensed to do so
- For an unknown period up until on or around 13 March 2023 he did not document his firm’s ongoing client due diligence measures as is required under the Money Laundering Regulations in force.
Finding
Grounds for disciplinary action existed and the matter was suitable for exercise of the Investigations Team's powers under the Disciplinary Regulations.
Order
Geraint Hodges is hereby:
- Reprimanded for a period of two years
- Fined £1,000
- Deemed ineligible to hold fellow membership status for a period of two years
- Warned about his future conduct.
Consent
Geraint Hodges consented to the decision of the Investigations Team in accordance with Regulation 6 of the Disciplinary Regulations.
